Chapter 15. Managing a programme or project

The purpose of programme and project management is to provide a structured framework for defining and undertaking change and therefore providing a framework for implementing policy and business strategies to enable the government and its organisation to achieve outcomes and benefits of strategic importance.

Programme and project management includes the planning, delegating, monitoring and control of all aspects of a programme or project and the management and motivation of those involved to achieve the defined scope within the defined constraints, such as cost, time, quality and risk. A description of a programme and a project is included in Chapter 3: Portfolios, programmes and projects.

This chapter describes the management practices which can be tailored to suit the context of the work being done (see Part B: Tailoring and adopting) and the specific life cycle of the programme or project (see Chapter 14: Programme and project life cycles). These practices, and their relationship to the life cycle and roles, are shown in Figure 15.1 and are summarised and listed in Table 15.1.

Unlike the phases of a programme or project life cycle described in Chapter 14: Programme and project life cycles, which are time-based, the management practices are iterative and process-based with overseeing, directing, managing the work used concurrently in every phase of the programme or project. The management practices apply regardless of the delivery approach or combination of delivery approaches selected.

The activities in the management practices are when information from the planning and control practices (see Part E: Planning and control) and solution delivery practices (see Part F: Solution delivery) is brought together to provide a holistic view of the status of the work and insights gained so that appropriate direction can be given, and action taken. As such, the management practices provide a comprehensive integrating framework for delivering any government programme or project.

While the management practices are essentially the same for a programme or a project the differences relate primarily to the programme manager being at least one step removed from those directly managing the delivery of the solution. A programme manager works through a team of project managers and managers of other related work within the programme’s scope. As such a programme manager’s focus includes ensuring the parts of the programme are contributing to the programme’s overall objectives, focusing on:

• the overall investment and how it is justified in terms of the types of business case and decisions needed 
• how the constituent projects and other work are funded
• how each part of the programme contributes to the required outcomes and benefits
• the allocation of work into tranches to realise benefits as soon as practical
• the management of overall risk, including handling of float and/or contingency within agreed tolerances
• the management of interdependencies among the programme’s projects and other constituent work
• the efficient use of and sharing of resources

The management of a programme is therefore concerned with how the work is justified, divided up, funded, planned and controlled. The detailed planning, controlling and delivery of work happens within each constituent project or work component.

The purpose of identifying a programme or project is to ensure that the policy or other strategic objectives for undertaking the work is understood and likely to be realistic before the first phase of work is authorised to start and funding and resources are committed.

This is when a need or opportunity is first formally recognised, and the sponsoring body describes why they want to initiate a programme or project. The need should be described in terms of the societal or organisational outcomes. 

It is a requirement of the Government Functional Standard for Project Delivery that the prospective senior responsible owner is appointed at this time. The terms of their appointment should be agreed with the sponsoring body in a letter of appointment (see The role of the senior responsible owner, which provides guidance on the role and appointment of senior responsible owners in government). The senior responsible owner should start to identify and work with potential team members and subject matter experts on defining the brief. This should be done in consultation with policy makers to ensure the opportunity or need is analysed and understood, and that deliverability is considered. Ideally, policy makers should become part of the programme or project team.

This work culminates in the first decision point when the sponsoring body commits funding and resources to the programme or project and the work is formally recognised as ‘in progress’ within the organisation’s portfolio.

Identifying a programme or project is the responsibility of the sponsoring body(see Chapter 13: The governance and management of programmes and projects) and includes ensuring that:

• the objectives of the programme or project (the programme or project brief) are understood and documented
• the necessary authorities for initiating the programme or project are in place
• the senior responsible owner, programme or project manager, and key members of the team, including policy makers, required for initiation of the programme or project are appointed
• the first phase of work is planned in outline and that time is not wasted initiating a programme or project based on unreliable assumptions

Government Major Projects Portfolio and Risk potential assessments

Programmes and projects joining the Government Major Projects Portfolio, must have a Risk potential assessment and validated by HM Treasury, National Infrastructure and Service Transformation Authority and where appropriate central function teams.

The purpose of overseeing a programme or project is to ensure that the sponsoring body is satisfied that the programme or project team is able to meet the needs of the organisation, the sponsoring body and stakeholders, and that the risks are at an acceptable level.

Overseeing a programme or project is the responsibility of the sponsoring body (see Chapter 13: The governance and management of programmes and projects) and includes ensuring that:

• the programme or project fulfils a real need
• the senior responsible owner has been appointed and has sufficient time and authority to carry out their responsibilities effectively
• the senior responsible owner is kept updated on the wider context, providing guidance and direction as needed or when requested
• they are satisfied with progress and confident that the programme or project team is able to achieve the objectives within an acceptable level of risk
• stakeholders’ expectations are being managed and likely to be met
• decisions which have been escalated to them or are outside the delegated authority of the senior responsible owner are made in a timely manner

The purpose of directing a programme or project is to ensure there is a continuing strategic fit and relevance in the prevailing business context.

The Government Functional Standard for Project Delivery requires the senior responsible owner (see Chapter 13: The governance and management of programmes and projects):

• to ensure that the solution fulfils government policy and/or meets the needs of the organisation, and that it represents value for money
• to direct a programme or project, and refer any decisions that are above their delegated authority to the sponsoring body or other decision makers as defined in the governance and management framework.
• to provide timely direction and decisions on the work as needed 
• to review the impact of any changes to policy or objectives that happen during the life of the programme or project and consider whether the work is still justified.

This includes ensuring that:

• the programme or project remains justifiable 
• assurance reviews and approvals are undertaken at the right time
• corrective and preventative actions are initiated and taken if needed
• there is authority to initiate a programme or project and their phases
• there is authority to close a programme or project

The purpose of initiating a programme or project is to ensure that a programme or project is set up and that the team is mobilised and understands the opportunity or need to be addressed. 

Initiating a programme or project is the responsibility of the programme or project manager (see Chapter 13: The governance and management of programmes and projects), following authorisation from the relevant decision makers. This includes ensuring that:

• the vision and an initial justification for the decision to invest in the work has been prepared and confirmed by the senior responsible owner
• the team is mobilised for the first phase of work
• success criteria in terms of outcomes and benefits have been defined and confirmed by the senior responsible owner
• significant stakeholders have been identified and confirmed by the senior responsible owner
• a governance and management framework, describing the approach, methods and processes required to manage the work, including the organisation chart and roles, has been prepared
• a delivery strategy and plan, describing the approach, activities, schedule, costs, resources and other constraints needed to achieve the objectives has been prepared
• a workable solution is highly likely to be identified

The initial justification should be defined and documented in a strategic outline case or equivalent as set out in the Green Book (requires sign in).

The Project set up toolkit should be referred to for assistance with framing the opportunity and understanding the capabilities a project or programme needs to deliver.

Government Major Projects Portfolio and accounting officer assessments

For programmes and projects in the Government Major Projects Portfolio, an accounting officer assessment must be produced at decision points. A summary of the assessment should be published. (see Accounting officer assessments: guidance for more information).

The purpose of managing a programme or project is to ensure that work is assigned, monitored and completed in a controlled way such as by managing risks and issues, reporting on progress and taking appropriate corrective and preventative actions when needed. Managing a programme or project is the responsibility of the programme or project manager supported by their team (see Chapter 13: The governance and management of programmes and projects) and includes:

• initiating a new phase
• initiating work within a phase
• monitoring the work
• preparing to start a new phase
• closing a phase

A phase may not be started until the senior responsible owner has given their authority to do so. The programme or project manager should then notify all those concerned and engage and brief the team managers and members, confirming the work plans. The team should review the plan, risk, issues and change registers, closing any which are no longer relevant, agreeing ownership and control actions for the remaining risks, and adding any new risks or issues which result from the review in light of the current situation. In addition, the team should verify that the list of identified stakeholders and the associated plans for their engagement are still valid. 

The programme or project manager should ensure administration, facilities and support office needs are covered.

The programme or project manager should ensure that work undertaken by the team is started in accordance with the delivery plan: 

• for programmes, this entails ensuring projects and other related work within a programme’s tranche are started
• for projects, this entails ensuring work packages are started

Initiation of work should be unambiguous in terms of scope and constraints such as time and cost and permitted tolerances. No work should be started unless it is covered by the current business case; this can mean that the business case, together with the associated management documentation and plans, might need to be updated and approved before the work being authorised.

The programme or project manager should assess the progress of the work against the delivery plan, analyse any variances, address issues and risks and assess the effectiveness of stakeholder engagement, taking action if needed. Timely analysis of progress data enables the manager to address issues as soon as possible, take advantage of opportunities and pre-empt situations rather than responding after they have assumed unmanageable proportions.

Controlling work is a continuous cyclical activity, as shown in Figure 15.2. In this cycle:

• work is carried out in line with the delivery plan, including developing outputs ready for use and embedding organisational and societal changes to deliver benefits
• progress is assessed on a regular basis against the agreed delivery plan, using the measures and format defined in the governance and management framework- this should cover delivery against the delivery plan and development of the solution, including quality, risks, issues, change requests and stakeholder attitudes
• any variances should be analysed to determine their causes and identify new or changed risks and issues- the ongoing need for viability of the work should be considered, as work should not continue if it is no longer justified
• corrective and preventative action should be taken, which could include minor instructions, decisions within a manager’s tolerances, escalations outside their tolerances for direction, change requests to the baseline plan, solution or management documentation

A more detailed representation of this cycle is described more fully in Chapter 17: controlling.

Good communication among the programme or project manager, team managers and the senior responsible owner is essential. If interaction among the team managers and members is weak, problems can escalate, no matter how much information is available. Effective monitoring and analysis help the team to understand the status of the whole programme or project and the prevailing risks, rather than just see their own part of the work. The programme or project manager therefore needs to keep the team managers briefed on the current context in which the work is being undertaken, especially as this can change if the work is protracted.

Lessons learned from experience by the team, which could be of use to other teams, should be recorded and managed as they arise and not be held back until the end of a phase (see Chapter 38: Learning from experience).

With the assistance of team managers or other subject matter experts, the programme or project manager should prepare for starting each phase of the work by:

• preparing or reviewing a detailed plan for the phase, with risks fully articulated and appropriate provision for contingency
• reviewing the governance and management requirements
• confirming that the required funding and resources are available
• confirming, with the senior responsible owner, that the work is still justified and verifying the business case is still viable
• revising the management approach to reflect the work required in the phase
• obtaining authorisation to start the next phase

Government and Departmental Major Projects Portfolios and Integrated assurance and approvals plan

Programmes and projects in the Government or Departmental Major Projects Portfolios are required to have an agreed Integrated assurance and approvals plan by HM Treasury and the National Infrastructure and Service Transformation Authority as part of HM Treasury’s Treasury approval process for programmes and projects (requires sign in)supporting decision points to proceed to the next phase.

Government Major Projects Portfolio and mandatory assurance preceding decision points

Programmes and projects in the Government Major Projects Portfolio are required to have an independent assurance review, under the direction of the National Infrastructure and Service Transformation Authority preceding each decision point supported by Treasury approval process for projects and programmes (see 13.4.4 on governance and management frameworks).

The programme or project manager should confirm the completion of each phase of the work by:

• verifying that the work has been completed and the outputs and expected outcomes accepted
• confirming as complete, cancelling or suspending contracts, as appropriate
• verifying and reassigning incomplete actions, recording unresolved issues and moving incomplete activities to later phases under change control, if necessary
• releasing or transitioning resources, if no longer required
• archiving information and documentation in accordance with the organisation’s information retention policy (see Chapter 24: Information and data management)
• recording lessons learnt to improve future work (see Chapter 38: Learning from experience)

The purpose of managing related work is to ensure work that is not managed as a project is defined, planned and controlled with the same rigour as for projects.

Managing other related work is the responsibility of the assigned manager (see 13.3.9 on management of other related work for programmes) and includes the same activities as for a project, except that it is not managed in stages. ‘Other related work’ can reflect any type of work, such as that for operational processes or services or can be advisory or supportive in nature (such as in a support office).

The purpose of managing a work package is to define the required outputs and outcomes and then plan, monitor and control their delivery, enabling the overall outcomes of the project (or other related work which comprises the work package) to be achieved and benefits realised.

Managing a work package is the responsibility of the work package or team manager (see 13.3.7 on work work package or team managers) and includes:

• defining and planning the assigned work packages
• monitoring and controlling the work in accordance with the work plan, including the management of resources
• closing the work package once it has been confirmed as completed

Working methods and processes should be defined and tailored for use to reflect the approaches being used and the skills of those undertaking the work. The monitoring and control of a work package follows a very similar line to that described for a programme or project in 15.8.4 on controlling the work, with a defined control cycle, suitably adapted to the work and outputs involved. The work package manager should monitor and control the assigned work against an approved work plan using the practices defined in Part E: Planning and control and Part F: Solution delivery. Preventative and corrective actions should be taken, and change requests made, when necessary, to achieve the assigned objectives.

The purpose of closing a programme or project is to ensure that it comes to an end in a controlled way, as required by the Government Functional Standard for Project Delivery.

Closure can happen when the scope of the programme or project has been delivered or when work is terminated early due, for example, to it no longer being viable or the associated risks being unacceptably high. Authorisation for closure is usually based on a closure report which should include a review of the lessons learned which could benefit future work. 

Authority for closure can be given by the sponsoring body, or it may be delegated to the senior responsible owner.  Sometimes, authority from the organisation’s investment committee is required.

The activities involved in closing a programme or project are normally the responsibility of the programme or project manager, see 13.3.5 on the programme or project manager responsibilities, unless the senior responsible owner determines otherwise. Closure includes ensuring that:

• outputs and outcomes have been delivered
• unfulfilled requirements have been documented with how they are to be addressed
• responsibilities for ongoing risks, issues, actions and benefits tracking have been handed over to, and accepted by, the appropriate authority
• lessons have been recorded and communicated (see Chapter 38: Learning from experience).
• documentation and information have been secured and transferred or archived (see Chapter 24: Information and data management)
• the team has been reassigned and facilities demobilised
• all financial transactions have been properly recorded and accounted for (see Chapter 29: Finance)
• information and data systems, such as contractual and financial, have been reconciled and closed

Reviewing outcomes and benefits determines the degree of the programme’s or project’s success. These reviews are called the ‘operations review and benefits realisation’ assurance review. In addition this assurance review it is required, for some programmes and projects, that a wider, more extensive formal evaluation is undertaken in accordance with The Magenta Book (requires sign in) (see Chapter 2: Policy and evaluation).

After a programme or project is closed, the sponsoring body should ensure that planned assurance reviews and evaluations are undertaken to assess the extent to which benefits realisation and operational performance are meeting, and are likely to continue to meet, the objectives and expectations stated in the business case. Such reviews also play an important part in evaluation.  

Reviewing the outcome of a programme or project is the responsibility of the sponsoring body (see 13.3.2 on the sponsoring body) and includes determining, based on the latest approved business case and supporting documentation, whether:

• the planned benefits were realised
• the predicted costs were as planned
• the outcomes are a reality and are being sustained
• the operational systems, processes and structures are effective
• the solution meets the needs, both for users and citizens
• final evaluation is under way or planned (see Chapter 2: Policy and evaluation)

A final report on performance against the business case should be completed including recalculating the social costs and social benefits, drawing on the information listed above.

Lessons identified during the review should be recorded and communicated where they can be of benefit for undertaking future work or result in improved working practices (see Chapter 38: Learning from experience).

An assurance review or evaluation should be undertaken when enough time has elapsed to assess the benefits of the programme or project and the use and operation of the outputs. The review should focus primarily on outcomes and benefits, but if these fall short of business case projections, for example because a solution is faulty or circumstances have changed, the reasons for this should also be considered. This might require the former senior responsible owner, programme or project manager or relevant senior team managers to be consulted.

• HM Government, Government Functional Standard GovS 002: Project Delivery
• HM Treasury, Accounting officer assessments
• HM Treasury, Green Book: UK government guidance on appraisal/gpd_link]
• HM Treasury, [gpd_link href="https://projectdelivery.gov.uk/library-product/magenta-book-and-supporting-guidance/"]Magenta Book: central Government guidance on evaluation (requires sign in)
• Infrastructure and Projects Authority, Best practice in benchmarking
• Infrastructure and Projects Authority, Cost estimating guidance (requires sign in)
• Infrastructure and Projects Authority, Guide to implementing integrated assurance
• Infrastructure and Projects Authority, Principles for project success
• Infrastructure and Projects Authority, Risk potential assessment form
• Infrastructure and Projects Authority, Project set up toolkit (collection)